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19 May 2019, 2:30 pm
Every week or so, I see an article suggesting that white collar prosecutions are down, citing various things about the bar not being as busy. [read post]
19 May 2019, 3:22 am
The Florida Bar, however, fails to draw that distinction. [read post]
17 May 2019, 8:25 pm
My first article looked at the 2018 first-time bar passage data. [read post]
17 May 2019, 1:58 pm
This broker was barred by FINRA in 2017 for failing to cooperate with FINRA in an investigation into his conduct and practices. [read post]
17 May 2019, 1:42 pm
Back in August, we told you about Bradley Joseph Tennison (CRD#: 156988), who was barred by FINRA after his discharge from Genos Wealth Management of Mesa, AZ. [read post]
17 May 2019, 1:18 pm
Back in June, we told you about John Greg Schmidt (CRD#: 708094) who was barred by FINRA after a series of allegations of misappropriation of funds. [read post]
17 May 2019, 12:30 pm
Nor does it violate the Second Amendment to bar them from possessing firearms. [read post]
17 May 2019, 11:20 am
As a result, FINRA barred Rodriquez indefinitely, and in all capacities. [read post]
17 May 2019, 9:09 am
Kubiak signed an Acceptance, Waiver & Consent (AWC) letter, agreeing to the imposed sanction of an indefinite bar, which became effective on 10/18/2018. [read post]
17 May 2019, 7:45 am
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
17 May 2019, 7:28 am
We represent investors in FINRA arbitration claims in all 50 states, including Florida. [read post]
17 May 2019, 7:19 am
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
17 May 2019, 5:00 am
In November, the public overwhelmingly supported an amendment to the Florida Constitution that would restore the voting rights of felons. [read post]
16 May 2019, 9:05 pm
The amendments would increase funding for the Special Olympics, EPA and Army Corps projects in the Great Lakes and Florida Everglades, and NASA efforts to return American astronauts to the moon. [read post]
16 May 2019, 9:01 pm
National/Federal At the N.R.A., a Cash Machine SputteringMSN – Danny Hakim (New York Times) | Published: 5/14/2019 A review of tax records by The New York Times shows that, to steady its finances, the National Rifle Association (NRA) increasingly relied on cash infusions and other transactions involving its affiliated foundation, at least $206 million worth since 2010. [read post]
16 May 2019, 1:55 pm
The post FINRA Bars Omar K. [read post]
16 May 2019, 12:44 pm
FINRA barred Crocker in all capacities, effective 12/14/2018. [read post]
16 May 2019, 10:53 am
He is no longer barred from affiliating with a FINRA member firm. [read post]
16 May 2019, 9:30 am
As part of this settlement, Frost will pay $5.5M to the SEC and will be barred from participating in offerings of penny stocks, with some exceptions. [read post]
16 May 2019, 9:04 am
She has served on the Steering Committee for the Federal Bar Association’s Sixth Circuit Appellate Practice Institute. [read post]
